DEUTSCHE BANK SECURITIES INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 2525). This firm reports disciplinary history on Form ADV.
Compensation: Other.
Clients served: Other.
Showing 25 of 117 people.
| Name | Role | Location |
|---|---|---|
| Christopher Leonard | CHIEF EXECUTIVE OFFICER & PRESIDENT; DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | Mullica Hill, NJ |
| Gleennia T Napper | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | — |
| Anthony Stucchio | CHIEF OPERATIONS OFFICER AND DIRECTOR | — |
| Tiberio Massaro | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | — |
| David Santore | CHIEF LEGAL OFFICER | — |
| Dominick Iii Petruccelli | CHIEF RISK OFFICER; DIRECTOR/CHIEF RISK OFFICER | — |
| Sebastian Benjamin Tiger | CHIEF COMPLIANCE OFFICER | — |
| Jason Anthony Monteiro | CHIEF COMPLIANCE OFFICER | — |
| HUGHES JUSTIN JAMES | DIRECTOR | — |
| MITCHELL JOHN THOMAS | SROP/RETAIL | — |
| MCKENNA KEVIN J | DIRECTOR | — |
| SCHWEIZER THOMAS JR | DIRECTOR; MANAGING DIRECTOR | — |
| OBRIEN MARGARET MARY | SROP/INSTITUTIONAL | — |
| WAUGH SETH HARRISON | CHAIRMAN; CHAIRMAN/CHIEF EXECUTIVE OFFICER/PRESIDENT; DIRECTOR (+1 more) | — |
| KILLEFER BRIAN | SROP/RETAIL | — |
| PFEFFER MARC JAY | DIRECTOR; PRESIDENT/CHIEF ADMINISTRATIVE OFFICER | — |
| GALLINEK WILFRED ERIC | CHIEF COMPLIANCE OFFICER | — |
| GAHAN THOMAS JAMES | CHIEF EXECUTIVE OFFICER | — |
| KHUZAMI ROBERT S | CHIEF LEGAL OFFICER | — |
| DOYLE ANN BANDS | HEAD OF INVESTMENT ADVISER BUSINESS | — |
| GEREMIA CHERYL ANN | CHIEF OPERATIONS OFFICER | — |
| WEINGORD PHILIP NEIL | DIRECTOR | — |
| MATTONE RALPH MICHAEL | CHIEF FINANCIAL OFFICER/FINOP | — |
| CLARKE STUART | DIRECTOR | — |
| KAROFSKY ROBERT BROOKS | DIRECTOR | — |
Showing 10 of 398 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-30 | regulatory | ON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T… | Final | $224K |
| 2026-03-12 | regulatory | ON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA. | Final | $1K |
| 2025-11-19 | regulatory | FINRA ALLEGED THAT DEUTSCHE BANK SECURITIES INC. ("DBSI") FAILED TO MAKE CERTAIN CONFLICT OF INTEREST DISCLOSURES RELATED TO ITS PROVISION OF RESEARCH REPORTS, AND FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUDING WRITTEN SUPERVISORY PROCEDURES, REASONABLY DESIGNED TO ACHIEVE COMPLIAN… | Final | $2.5M |
| 2025-06-09 | regulatory | THE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA… | Final | $3.0M |
| 2025-06-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES. | Final | $4K |
| 2025-04-11 | regulatory | BLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF. | Final | $135K |
| 2025-03-24 | regulatory | ON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM. | Final | $58K |
| 2025-03-17 | regulatory | ON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE… | Final | $27.5M |
| 2024-12-20 | regulatory | THE SEC FOUND THAT DEUTSCHE BANK SECURITIES, INC. ("DBSI") FAILED TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS, AND, ON CERTAIN OCCASIONS FAILED TO PROMPTLY INVESTIGATE OR COMPLETE INVESTIGATIONS OF POTENTIALLY SUSPICIOUS ACTIVITY WITHIN A REASONABLE PERIOD OF TIME. THE SEC FOUND THAT FROM APR… | Final | $4.0M |
| 2024-07-04 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS… | Final | — |